Compliance Role - Broking Firm (4-8 yrs)

4.00 to 8.00 Years Surat 12 Jun, 2022

Job Location	Surat
Education	Not Mentioned
Salary	Not Disclosed
Industry	Recruitment Services
Functional Area	Sales / BD
EmploymentType	Full-time

Job Description

Candidate with experience for PMLA and Broking and DP Compliance Function in due priority.His role is mainly supervisory and advisory in below areas:1. Ensure timely generation of Alerts and disposing off, maintain MIS, filing STRs etc.2. Ensure AML related FIU filings and reporting compliances3. Ensure Surveillance Alerts related filings and reporting compliances4. Ensure periodic and instance based operational compliance requirements relating to Exchange, Depository, KRAs, FATCA/CRS etc.5. To handle exchange, depository and internal audits, including system audit, cyber security audit etc.6. Ensure efficient functioning of the team and assist team members to achieve optimum performance levels.Location: Surat,

Keyskills :
system auditinternal auditcyber securitysecurity auditoperational compliancemisfiukrascyberfilingbrokingsecurityexchangereportingoperationscomplianceperformancesurveillance

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Compliance Role - Broking Firm (4-8 yrs)

Job Description

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